Securities & SEC

The National Law Review provides readers the latest information, legislation, and news regarding Securities and the SEC, from the Securities and Exchange Commission (SEC) and topics covered under the Securities Exchange Act of 1934.

Securities Exchange Commission

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The National Law Review covers news and updates coming out of the SEC, including information about updates on the US SEC EDGAR system and related requirements, rules designed to limit and enforce rules against Insider Trading and Anti-Money Laundering settlements. Additionally, analysis of the SEC Division of Investment Management leadership and proposed rulemakings. 

CFTC & FINRA

Commodities Futures and Trading Commission (CFTC) topics are discussed as they unfold on the NLR. Readers can learn about the latest cybersecurity regulations for companies engaging in bitcoin transactions, and how businesses can accept cryptocurrencies as valid, legal-tender. They can read about how M&A transactions are affected by tax-legislation, new legislation and regulations related to insider-trading, learn about ‘no-poach’ agreements, to securities fraud with the news covered online.  Additionally, the National Law Review covers information related to the Financial Industry Regulatory Authority (FINRA), including rule changes related to the organization and updates on FINRA enforcement priorities.

Securities around the World

The European Securities and Markets Authorities (ESMA) and Australian Securities and Investment Commission (ASIC) news and information, is also prominently covered on The National Law Review. So, foreign investors, US-based businesses, tax implications, and other topics which revolve around the international-realm, and securities, can be found on NLR.

Visitors will find both national and international news and cases surrounding the SEC, securities regulation commissions, and international-Securities markets. Whether readers are interested in learning about new legislation, upcoming changes to Visa programs or possible tax concerns with their foreign investments, The National Law Review has up to date news, and cases, which will cover these, and any other topics of interest in the securities market.

For hourly updates on the latest news about securities/SEC regulations, corporate & business law, compliance and more securities & business law news, be sure to follow our Finance and Securities Law Twitter feed and sign up for complimentary e-news bulletins.

Custom text Title Organization
Sep
19
2011
 OFAC Settles Alleged Sanctions Violations for $88.3 million Sheppard, Mullin, Richter & Hampton LLP
Sep
18
2023
 Offering of NFTs Allegedly Promoted as Investments Claimed To Be Unregistered Securities Offering by SEC in Settled Enforcement Action Katten
Mar
12
2014
 Office of Administrative Hearings (OAH) Seeks Opinion Regarding Appearances By Non-Attorneys and Out-of-State Attorneys Allen Matkins Leck Gamble Mallory & Natsis LLP
May
9
2014
 Office of Compliance and Inspections and Examinations (OCIE) Issues Cybersecurity Risk Alert Vedder Price
Aug
19
2016
 Office of Compliance Inspection and Examinations Announces Share Class Initiative Focused on Conflicts of Interest Vedder Price
May
12
2014
 Office of Compliance Inspections and Examinations (OCIE) Cybersecurity Initiative Godfrey & Kahn S.C.
Jul
12
2014
 Office of Compliance Inspections and Examinations (OCIE) Issues Cybersecurity Risk Alert Vedder Price
Mar
10
2015
 Office of Compliance Inspections and Examinations (OCIE) Releases 2015 Examination Priorities Vedder Price
Jun
9
2014
 Office of the Comptroller of Currency (OCC) Issues Updated Guidance on Collective Investment Funds Morgan, Lewis & Bockius LLP
May
19
2013
 Office of the Comptroller of the Currency (OCC) Issues Clarification of the Treatment of Certain Sovereign and Securitization Positions Katten
Nov
17
2013
 Office of the Comptroller of the Currency (OCC) Publishes Standards on the Use of an Independent Consultant Katten
Sep
2
2015
 Officers And The Internal Affairs Doctrine Allen Matkins Leck Gamble Mallory & Natsis LLP
Nov
5
2019
 OFSI Finds Its Teeth While OFAC Continues to Enforce Against Non-U.S. Corporates Greenberg Traurig, LLP
Nov
26
2014
 Ohio Federal Judge Orders Stockholder To “Register” Correspondence With The SEC Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
6
2011
 Oil and Gas Companies Should Expect Increased SEC Scrutiny of Operations and Reserves Hunton Andrews Kurth
Apr
29
2011
 Oil and Gas Fraud Working Group to Focus on Energy Markets Bracewell LLP
Mar
26
2015
 Omnicare Clarifies Standards for Liability for Statements of Opinion Under Section 11 Hunton Andrews Kurth
Mar
26
2015
 Omnicare Decision Clarifies Grounds for Section 11 Liability re: Securities Morgan, Lewis & Bockius LLP
Apr
15
2013
 On CISPA (a Cybersecurity Bill), Privacy Advocates Fight While Tech Companies Stay Silent MapLight
Feb
3
2014
 On Closer Inspection, This CII (Council of Institutional Investors) “Best Practice” May Be Neither Good Nor Legal Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
22
2019
 On Cybersecurity, Grab the Low-Hanging Fruit Carlton Fields
Dec
13
2013
 On the Fifth Day of Privacy, the SEC Gave to Me…..Re: Cybersecurity Risks and Data Breaches Mintz
Oct
8
2015
 On the Road to Recovery: SEC Proposes Rule Requiring Executive Compensation Clawback Policies Faegre Drinker
Dec
11
2014
 On the Third Day of Privacy, the Shareholders Gave to Me...Shareholder Proposals on Cybersecurity and Privacy Mintz
Jun
8
2011
 One Reason the SEC Can’t Regulate Wall Street Risk and Insurance Management Society, Inc. (RIMS)
Mar
13
2023
 One Shining Moment – Basketball Trading Cards or Securities? ArentFox Schiff LLP
Jul
25
2018
 One Year After the "DAO" Report Three U.S. Courts Begin to Provide Crypto-Clarity K&L Gates
Mar
2
2013
 One-Day Prohibition Imposed on Short Selling of Four Italian Shares by United Kingdom (UK) Katten
Feb
21
2018
 Only Persons Who Report Security Violations to the SEC are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case Foley & Lardner LLP
Nov
28
2022
 Only Sell What You Know-II: Selling Variable Interest Structure Products Is a Fraud on the Unsuspecting Norris McLaughlin P.A.
Dec
12
2014
 Only ‘Whistleblowers’ Need Apply: District Court Concludes Simply Engaging in Protected Activity is Insufficient to Invoke Dodd-Frank Protection Greenberg Traurig, LLP
Mar
1
2016
 Ontario Superior Court Decision Confirms That “Public Correction” Requirement is a Temporal Marker Mintz
Feb
27
2014
 Oops! CalPERS (California Public Employees Retirement System) Reportedly Violates Insider Trading Policy Again Allen Matkins Leck Gamble Mallory & Natsis LLP
Apr
15
2021
 Oops: NASDAQ Seeks to Correct a 2009 Error Re: ADR Listing Requirements Norris McLaughlin P.A.
Aug
2
2023
 Open Finance and Payment Services Package (EU) K&L Gates
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